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Stratos Recruits $100M Duo in Ohio
WealthManagement.com· 7 days agoSpain & Smith Wealth Advisors will be led by veteran Henry “Hank” Spain, who was most recently with Carnegie Investment Counsel. He’s joined by Dayna...
Wealth Enhancement Group Picks Up $1.2B Houston RIA
WealthManagement.com· 7 days agoMinneapolis-based Wealth Enhancement Group, the acquisitive registered investment advisor with over $81.5 billion in client assets, purchased ...
Learn More About David Adair in Salt Lake City, UT.
US News & World Report· 16 hours agoDavid Adair is a financial advisor in Salt Lake City, UT. Find a financial advisor who specializes in the area of expertise you require. An advisor ...
SEC Revamps and Enhances Data Protections with Amendments to Regulation S-P | JD Supra
JD Supra· 5 days agoRIAs with $1.5 billion or more in assets under management will have 18 months after the date of publication in the Federal Register to comply (and others will have 24 months ...
Pershing Square Holdings Notes the Sale by Pershing Square Capital Management of 10% Common Equity...
Investing.com· 1 day agoPershing Square Holdings, Ltd. today noted that Pershing Square Capital Management, L.P. (“PSCM”),...
Calamos Rolls Out Structured Alt Protection ETF™ – June (CPNJ)
ETF Trends· 17 hours agoCalamos Investments has unveiled its new fund within the growing line of its Structured Protection...
JD Supra: Top Tips for Updating Your 2024 Compliance Program
JD Supra· 6 days agoEvery year compliance officers face the unenviable job of performing their compliance program's...
RWA Wealth Partners names Michelle Knight CEO - InvestmentNews
InvestmentNews· 18 hours agoKnight as CEO. Knight steps into the role following the resignation of Mario Ramos, who guided the...
Highland Opportunities and Income Fund Announces the Regular Monthly Distribution - Highland...
Benzinga· 13 hours agoThe Fund is a closed-end fund that seeks to provide growth of capital along with income in a registered fund format. The Fund pursues its investment objective ...
SEC Expands Security and Breach Notification Requirements for Investment Firms | JD Supra
JD Supra· 4 days agoBrokers, dealers, investment companies, investment advisers, crowdfunding portals, and transfer agents registered with the SEC or another ...
